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Richard George Johnson

Pershing LLC

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About Richard George Johnson

Richard George Johnson is a registered representative with Pershing LLC. Richard has been in the industry since 1999 and holds the Series 7, 24, 52TO, and 63 licenses. Richard is currently registered in New Jersey and New York. Prior to joining Pershing, Richard was employed by Ryan Beck & Co., Advest, Inc., and Spear, Leeds & Kellogg.

Firm Information

Richard Johnson is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Richard Johnson’s Registration & Firm History

NJ

01/18/2008 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

01/06/2006 - 09/04/2007

RYAN BECK & CO. (FLORHAM PARK NJ)

CT

12/15/1999 - 01/19/2006

ADVEST, INC. (HARTFORD CT)

NY

12/16/1998 - 12/16/1999

SPEAR, LEEDS & KELLOGG (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/07/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/10/1999

Series 24 - General Securities Principal Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/03/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Richard George Johnson.
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